Upcoming Webinars

Keep abreast of new investment adviser regulatory developments by the U.S. Securities and Exchange Commission (“SEC”) and state securities regulators by participating in the investment adviser compliance webinars hosted monthly by RIA Compliance Consultants. Our investment adviser compliance webinars are designed to educate and train participants on the fundamentals of investment adviser compliance and the latest SEC and state securities regulator’s investment adviser rules, enforcement proceedings and no-action letters. RIA Compliance Consultants’ webinar presenters will attempt to provide examples of best compliance practices and practical solutions designed to meet an investment adviser’s compliance obligations.

Calendar of Our Upcoming Webinars

Train new staff on basic investment advisor compliance, learn best practices used by chief compliance officers of other investment advisors and stay current on most recent regulatory developments by purchasing our Annual Subscription to Live & Recorded Webinars. Under the Annual Subscription to Live & Recorded Webinars, you will have unlimited access during the next 12 month subscription period to all live webinars (at least 10 per year) hosted by RIA Compliance Consultants and all of the recorded webinars currently available in our library. By purchasing this annual subscription now, you can immediately reduce the average cost of your investment advisor compliance webinars and make sure that you and your colleagues have access to outstanding investment advisor compliance training.

During this webinar, RIA Compliance Consultants will explain in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants will give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.

Each year within 90 days of a firm’s fiscal year end, investment advisers must file a Form ADV annual amendment. This year investment advisers will have to provide more information than they have in the past due to changes to the Form ADV that were approved last year. These changes become effective October 1, 2017 and any Form ADV filed after this date will be required to provide the new data. For most existing investment advisers, this means that the new data will be required when they file the Form ADV annual amendment. These changes will likely affect almost every investment adviser and many advisers may not be prepared to gather the additional data that is being requested on the Form ADV. During this webinar RIA Compliance Consultants will provide an overview of the new information that will be required after October 1. Investment advisers should attend this webinar so that they can begin preparing their data early this year to make sure that they can gather the necessary data in the manner that the SEC is requesting it. Our consultants will also briefly discuss some of the common mistakes we see when investment advisers are filing their annual amendments.

Time: Our investment adviser compliance webinars are generally scheduled to last one-hour from 12:00 p.m. to 1:00 p.m. Central Time on the topics and dates listed above.

Fee: Depending upon the compliance topic, the webinar may be offered upon a fee or complimentary basis. For a webinar subject to a charge by RIA Compliance Consultants, the fee is $69.95 per session and non-refundable.

Technical Requirements: In order to participate, you must have access to a telephone and an Internet browser. PC-based participants will need Windows® 2000, XP Home, XP Pro, 2003 Server, or Vista. Macintosh®-based attendees will need Mac OS®.

*This is a complimentary webinar that will be presented by our affiliated law firm. Although RIA Compliance Consultants is affiliated with a law firm, RIA Compliance Consultants is not a law firm and does not provide legal services. Please note that a compliance consulting relationship with RIA Compliance Consultants is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

RIA Compliance Consultants|877-345-4034|

*RIA Compliance Consultants, Inc. (“RCC”) is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.